Manager - Advisory Compliance

2 weeks ago

Riyadh, Ar Riyāḑ, Saudi Arabia D360 Bank Full time 120,000 - 250,000 per year
Description

The role is responsible to supports the implementation of controls, compliance checks, and compliance processes including advisory, compliance monitoring, and responses to compliance-related inquiries. He/she executes tasks as per defined procedures to ensure regulatory compliance across D360 and their assigned areas, and escalates to the Head of Regulatory Compliance, and/or other relevant stakeholders. He/she will work with the Head to maintain Compliance processes and procedures.

Responsibilities
  • Supports Control and monitors all SAMA observations and coordinates with concerned internal stakeholders to ensure the proper closure and alignment with the target date.
  • Conduct routine review and monitoring based on established procedures to ensure all related rules and regulations have been embedded. 
  • Collaborate with other Functions to direct compliance issues to appropriate existing channels for investigation and resolution.
  • Work with the Head to identify potential areas of compliance vulnerability and risk, and develop and implement corrective action plans.
  • Monitor communication channels for compliance queries, and advise/escalate to relevant stakeholders
  • Participate in resolving regulatory issues that emerge from the information requirements of internal and external stakeholders.
  • Advise internal clients and stakeholders on compliance resources and references
  • Works with Functions in the development of products, partnerships, and technology platforms, and with onboarding clients to ensure that regulatory compliance is built into the process.
  • Enforce, incorporate, and comply with all necessary controls and related information security (EIS) policies, procedures, practices, training, reporting, personal due diligence and vigilance, within departmental/unit activities and operations.  
Qualifications

Preferred Qualifications

 A tertiary-level qualification from an internationally/regionally recognized institution. 

Years & Nature of Experience

  • Recommended to have 3 to 5 years of equivalent experience where required competencies and experience has been demonstrated
  • An experienced professional who can deliver on difficult technical tasks
  • Has project implementation experience
  • Is self-sufficient at work and could be given small project responsibility
  • Has provided technical supervision to junior staff in the past

Technical  Competencies

  • Data Collection and Analysis 
  • Compliance Monitoring and Surveillance
  • Research and Information Structuring
  • Risk and Compliance Reporting

Behavioral Competencies 

  • Communication
  • Teamwork
  • Interpersonal Skills
  • Problem Solving
     

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